CASS (Client Money) SME - Internal Audit
|Job Title:||CASS (Client Money) SME - Internal Audit|
|Salary:||£60000 - £80000 per annum, Benefits: Bonus & Bens|
|Contact Name:||Jordan Forbes|
|Job Published:||June 12, 2017 15:52|
The primary role is to act as the expert within Internal Audit on the Financial Conduct Authority's Client Assets Sourcebook (CASS) regulations, and how these apply to the business and operations of the Company
- Provide CASS specific direction and support to audit management and the audit team in general.
- Keep up-to-date with development of the CASS regulations and their application to the Company, including liaising with Compliance and Risk
- Ensure that CASS regulations, risks and controls are appropriately covered in the Audit Plan, and develop a mechanism by which progress can be monitored and reported to senior management
- Lead and manage CASS specific audit reviews of the business and operations.
- Provide a view on the validity and risk implications of any CASS related audit issues.
- Challenge Business/Operations Management to ensure appropriate remedial action has been taken where issues have been identified
- Act as the primary audit representative in all CASS related matters including projects, to ensure that any changes to operating models are fully assessed from a risk perspective
- Represent audit management at CASS specific and other Governance committees
- Provide input to and deliver CASS training.
- Lead and manage other non-CASS related audit reviews.
- Carry out other ad-hoc tasks and projects as directed by Audit Senior Management
This role is suited to any individual with end to end, fully conversant knowledge of the Client Assets Sourcebook (CASS) rules whilst demonstrating a successful track record. Considered backgrounds could be Audit, internal audit, operations or compliance monitoring.
- At least 2-3 years' experience in CASS related roles.
- Excellent understanding of CASS regulatory requirements
- Good general knowledge of the financial services industry and its regulations and laws.
- Detailed understanding of banking Operations and other Operations impacted by the CASS Rules
- Ideally a qualified accountant ACA / ACCA or related qualification.
- Proven track record of managing and delivering risk based projects.
- Experience of dealing with and presenting to senior management.
- Knowledgeable on good governance practices
- Skill in negotiating issues and resolving problems.
- Considerable skill in effective verbal and written communications, including active listening skills and skill in presenting findings and recommendations.
- Degree Educated
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